Other Fields
Agency Scheme: 
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of the Secretary
Name of Hearing Office (global name): 
Nuclear Regulatory Commission: Office of the Secretary
Sub-Agency/Bureau/Division:: 
Office of the Deputy Exec. Director for Corporate Mgmt.
Hearing Officer #1 (Title): 
Commission/Commission Member(s)
Hearing Officer #2 (Title): 
Presiding Officer
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
No
Comments/Notes on Adjudication Structure: 

Proceedings related to specific licenses (i.e., licenses for named individual) to import or export nuclear equipment and/or materials under the Atomic Energy Act. For initial applications, hearings are conducted only when either: (1) the Commission grants a timely request for hearing or intervention by any interested person (following public notice of the application in the Federal Register and/or NRC website); or (2) the Commission determines that a hearing would assist it in making its determination or in the public interest. (10 CFR 110.84). For enforcement actions by NRC to revoke, suspend, or modify an existing license, hearings are conducted when requested by the licensee following issuance of a show cause order. (10 CFR 110.52 & 110.66).

NRC regulations specific that the full Commission will "ordinarily" preside over hearings for import/expert licenses. However, the Commission has the discretion to notice a hearing to be conducted by one or more Commission members "or any other person as provided by law." (10 CFR 110.104) If the Commission refers the hearing to a designated presiding officer, such officer conducts a fact-finding hearing and certify the hearing record to the Commission, which issues the final decision.

PROCESS & PROCEDURE - General Information
Are private parties permitted to have representation at hearings?: 
Yes (All Types of Cases)
Who may serve as a private party representative?: 
Attorney
Is the agency permitted to have representation at hearings?: 
Yes (Some Types of Cases)
Who may serve as an agency representative?: 
Attorney
Regulations/rules of practice for hearings (please include CFR citations): 
10 CFR Part 110
Other published guidance for hearings (if any): 
Federal Claims Collection Standards (31 CFR Parts 900 - 904)
PROCESS & PROCEDURE - Pre-Hearing Procedure
Is discovery permitted by either party at the hearing-level stage?: 
No
Briefly describe the scope and type(s) of discovery available (e.g., depositions, interrogatories, etc.): 
10 CFR 10.22(d) details the individual's right to request documents, records and reports which form the basis for the question of their eligibility. The individual may also request the entire investigative file to the extent permitted by national security interests and other applicable law.
Does the hearing officer have subpoena authority?: 
No
Are ex parte contacts prohibited?: 
No
Are parties provided notice of hearing?: 
Yes (All Types of Cases)
PROCESS & PROCEDURE - Hearing Procedure
What types of hearings are permitted at the hearing-level stage?: 
Written (Document-Only) Hearing
In-Person
Please provide the approximate percentage of each type of hearing relative to the total number of hearings (FY2013)
Written (Document-Only) Hearing: 
100%
In-Person: 
100%
Video: 
0%
Phone: 
0%
How is the type of hearing selected: 
Depends on Nature of Case/Claim
Please describe: 
Initial Applications for Import/Export License: The Commission determines whether a contested application will receive an oral hearing or a hearing on written comments. Hearings will be held upon the affirmative vote of two Commission members. (10 CFR 110.84 - 110.86) Enforcement Action Re: Existing Import/Export License: In NRC enforcement actions to revoke, suspend, or modify an existing license, hearings are conducted when requested by the licensee following issuance of a show cause order. (10 CFR 110.52 & 110.66).
How many hearing officers preside at each hearing?: 
Varies by Case
If "Varies by Case," please describe: 
The full 5-member Commission ordinarily presides over hearings relating to actions on applications for specific import/export licenses and adverse actions on existing licenses. However, regulations also provide that, at Commission discretion, hearings may be conducted by one or more Commission members. Additionally, the Commission may refer the licensure proceeding to a designed presiding officer for a fact-finding (evidentiary) hearing. (10 CFR 110.104(a))
Is witness testimony permitted at hearings?: 
Varies by Case
If "Varies by Case," please describe: 
For oral hearings, parties may submit witness testimony by written direct statements only. For hearings on written comments conducted, not applicable. (10 CFR 110.107)
Can parties cross-examine witnesses?: 
Varies by Case
If "Varies by Case," please describe: 
For oral hearings, only the presiding officer may question (cross-examine) witnesses. For hearings on written comments conducted, not applicable. (10 CFR 110.107(f))
Can third-parties submit amicus briefs and/or evidence?: 
Yes
Are hearings recorded and/or transcribed?: 
Yes
Are hearings open to the public?: 
Presumed Open (But May Be Closed Under Certain Conditions)
If "Varies by Case," please describe: 
All formal and informal presentation of views "shall" be open to the public unless the Secretary finds that good cause for closure. (24 CFR 3282.152(a))
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts the decision at the hearing-level stage?: 
Adjudication Officer
Other
If "Other," please specify (drafts): 
The Commission (or individual Commission members) -- which may or may not preside over import/export license hearings -- generally drafts the final decision.
Who has authority to issue final decisions?: 
Adjudication Officer
Other
If "Other," please specify: 
The Commission has the authority to issue final decisions. When the Commission designates a presiding officer to conduct a fact-finding hearing, the presiding officer, at the conclusion of the hearing. certifies the hearing record to the Commission for final decision. However, on export license applications only, the President may issue a final determination if the Commission cannot make its statutory decisions under the AEA on a timely basis. Under such circumstances, the Commission publicly issues decision to that effect and forwards application to the President. (10 CFR 110.45(d))
Do agency regulations or guidance provide time limits for issuance of final decisions?: 
No
If "Yes," please specify these time limit(s): 
The suspending/debarring official must issue a written decision within 45 days of closing the official record. May be extended for good cause. (2 C.F.R. 180.755(a), 180.870(a)).
PROCESS & PROCEDURE - Case Management
Please briefly describe your case management practice(s) at the hearing level stage: 
*Non-Complaint Cases Set for Hearing: FERC has 3 tracks for cases set for hearing under Subpart E, which depend on the conplexity and number of issues involved. The 3 tracks are: Track I (simple case); Track II (complex case); and Track III (exceptionally complex case. These tracks establish default processing and discovery time standards for non-complaint cases set for hearing, though presiding officers have discretion to adjust as required to meet the needs of a case. *Complaints Set for Hearing: Complaints set for hearing also have established processing standards and time frames depending on whether they are "fast track" or "regular" complaints. *Complaints Involving "Small Controversies": Small controversy complaints (i.e., amount in controversy is less than $100,000 and the impact on other entities is de minimis) do not have formerly adopted processing time frames, but do have simplified procedures which, according to FERC's website, often leads to faster case resolution.
Does the agency permit web-based electronic filing of hearing-related briefs or other documents?: 
Yes
Are final decisions published and/or posted on the agency website?: 
Yes (All Decisions)
If "Yes (Some Decisions)," how does the agency determine which final decisions to publish/post? Please briefly describe: 
The website for the Office of Hearings and Appeals posts decisions that it believes are precedential or otherwise of public interest. Several fee-based legal database services (such as Westlaw and LEXIS) also publish case decisions.
Do agency regulations/rules of practice specify the contents of the administrative record at the hearing-level stage?: 
No
If "Yes," please provide citation(s): 
2 CFR 180.750(a), 180.845(a)
Do agency regulations/rules of practice provide for closure of the record at the hearing-level stage (subject to applicable exce: 
No
If "Yes," please provide citation(s): 
2 CFR 180.755, 180.870(a)
PROCESS & PROCEDURE - Comments
Comments/Notes on Hearing-Level Process & Procedures (Optional): 
NRC regulations permit the debarred person to request reconsideration (by the the debarring official) of his/her debarment decision, or to seek reduction in the scope or length of the debarment. (2 CFR 180.875) All final decisions imposing a suspension or debarment are "published" in the sense that information concerning such suspension/debarment is required to be posted on the government-wide Excluded Parties List System (EPLS). Federal agency officials use the EPLS to determine whether or not to enter into transactions.
ADJUDICATORS
Total # of Hearing Officers: 
5
Comments/Notes on Hearing-Level Adjudicators (Optional): 
NRC regulations specific that the full Commission will "ordinarily" preside over hearings for import/expert licenses. However, the Commission has the discretion to notice a hearing to be conducted by one or more Commission members "or any other person as provided by law." (10 CFR 110.104) If the Commission refers the hearing to a designated presiding officer, such officer conducts a fact-finding hearing and certify the hearing record to the Commission, which issues the final decision.
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
No
If "Varies by Case," please describe:: 
Only Age Discrimination Act cases provide for mediation. Applicable regulations provide that NRC "will refer" complaints to a mediation agency designated by HHS, and that both the complainant and the recipient "shall participate." (10 CFR 4.333(a)-(b))
If "Other," please specify:: 
Meeting.
If "Other," please specify:: 
Mediation is conducted for Age Discrimination Act complaints by "a mediation agency designated by the Secretary of [HHS]." (10 CFR 4.333(a))
Regulations/rules of practice governing ADR process (please include CFR citations): 
Age Discrimination Act complaints only - 10 CFR 4.333(a)
Other published guidance on ADR process (if any):: 
FERC Dispute Resolution Division brochure and practices (available on FERC website)
Comments/Notes on ADR Process (Optional): 
NEA rules provide that (a) both the complainant and the recipient/applicant "shall participate" in the mediation process "to the extent necessary to reach an agreement," and (b) there must be at least one mediation session before NEA will accept judgment that no agreement is possible. (45 CFR 1156.16)
Verified by Agency: 
Not verified